Sydney
Wealth Management
PermanentThis is a great opportunity to join a leading stockbroker in a mid level risk and compliance capacity supporting the head of risk in the Sydney office.
Responsibilities:
- Provide guidance to staff to ensure compliance with firm policies and procedures, regulatory and legislative requirements
- Assist with the co-ordination of client events, seminars, research and company presentations
- Coordinate Initial Public Offering Bid & Allocation process for the NSW office
- Coordinate Branch Training Requirements inc. Compliance tracking and follow up
- Maintain account files and undertake regular follow-up on missing documents
- Provide administrative support to the Branch Management Team
- Provide coverage for Branch Administration Assistant, including Scanning and Mail distribution
- Assist branch management in the development, and monitor the success of revenue initiatives at all levels from advisers originated to Firm wide projects
- Assist with on-boarding of new advisers and their clients
- In conjunction with the Management team, ensure staff adhere to firm policies and procedures, regulatory and legislative requirements.
- Comply with ethical standards contained in the Company Code of Conduct.
Requirements:
- Knowledge of Australian securities regulations and compliance requirements, including ASX Business Rules, Corporations Act and AML
- At least 2 years experience in the Securities industry
- Ability to identify risk and minimise potential liabilities to the business
- Well-developed IT literacy, and analytical skills
- Knowledge of financial markets fundamentals
- Detailed understanding of how the organisation fits within the Australian market and global operations.
- Good understanding of the Private Client business model
- Strong client Service focus
- Ability to build rapport at all levels
- Goal-oriented with demonstrated drive and initiative
- Ability to work under pressure and to tight timeframes within a team